DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

W•• W••••• A•••••••

Former SEC-registered adviserCRD 146832SEC 801-69953IAPD
Legal name F••••• L•••••
Latest filing Apr 8, 2019
First filing on the tape Nov 14, 2011 · 22 filings
RAUM
$253M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$247M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$253M as of Jan 15, 2019
Mar 30, 2012$104M then
HNW client RAUM$130M as of Jan 15, 2019
Mar 26, 2018$174M then
State-registered IARs (5.B.3)10 as of Jan 15, 2019
Mar 30, 20120 then
Employees (5.A)10 as of Jan 15, 2019
Mar 7, 201311 then
Private funds: no history
RAUM +7.0% over the last fiscal year+15% a year over threeIARs 10 to 3offices 6 to 0
Practice profile
derived from the filing of Apr 8, 2019; every figure names its basis
RAUM per advisor
$84.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
171derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$477,500derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
Wrap fee program
$234MreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$130M52%
  • Individuals$117M46%
  • Pension and profit-sharing plans$3.8M1.5%
  • Charitable organizations$1.6M0.6%
Individual clients
450reported
HNW clients
63reported
Pension plan clients
3reported
Charitable clients
13reported
Accounts
529reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••••••• L••••• L••• · Chief Compliance Officer, Managing Membercontrol
      since 01/2009 · owns 50% to 75%
    • W•••••• J••• P•••••• E••••• · Managing Membercontrol
      since 01/2009 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 10 to 3
      Jan 15, 2019 to Apr 8, 2019
    • BD registered reps · 9 to 1
      Jan 15, 2019 to Apr 8, 2019
    • Employees · 10 to 3
      Jan 15, 2019 to Apr 8, 2019
    • HQ city · FORT WORTH to unset
      Jan 15, 2019 to Apr 8, 2019
    • HQ state · TX to unset
      Jan 15, 2019 to Apr 8, 2019
    • State-registered IARs · 10 to 3
      Jan 15, 2019 to Apr 8, 2019
    • Other offices · 6 to 0
      Jan 15, 2019 to Apr 8, 2019
    • Accounts · 420 to 529
      Nov 6, 2018 to Jan 15, 2019
    • Charity clients · 6 to 13
      Nov 6, 2018 to Jan 15, 2019
    • HNW clients · 76 to 63
      Nov 6, 2018 to Jan 15, 2019
    • Individual clients · 340 to 450
      Nov 6, 2018 to Jan 15, 2019
    • Pension plan clients · 12 to 3
      Nov 6, 2018 to Jan 15, 2019
    • Discretionary RAUM · $236M to $253M
      Nov 6, 2018 to Jan 15, 2019
    • HNW RAUM · $174M to $130M
      Nov 6, 2018 to Jan 15, 2019
    • Individual RAUM · $59.5M to $117M
      Nov 6, 2018 to Jan 15, 2019
    • Pension RAUM · $1.9M to $3.8M
      Nov 6, 2018 to Jan 15, 2019
    • RAUM · $236M to $253M
      Nov 6, 2018 to Jan 15, 2019
    • Accounts · 440 to 420
      Sep 22, 2017 to Mar 26, 2018
    • Charity clients · unset to 6.0
      Sep 22, 2017 to Mar 26, 2018
    • HNW clients · unset to 76.0
      Sep 22, 2017 to Mar 26, 2018
    • Individual clients · unset to 340.0
      Sep 22, 2017 to Mar 26, 2018
    • Pension plan clients · unset to 12.0
      Sep 22, 2017 to Mar 26, 2018
    • Financial planning clients · 26-50 to 51-100
      Sep 22, 2017 to Mar 26, 2018
    • Other offices · unset to 6.0
      Sep 22, 2017 to Mar 26, 2018
    • Discretionary RAUM · $201M to $236M
      Sep 22, 2017 to Mar 26, 2018
    • HNW RAUM · unset to 174130666.0
      Sep 22, 2017 to Mar 26, 2018
    • Individual RAUM · unset to 59545064.0
      Sep 22, 2017 to Mar 26, 2018
    • Pension RAUM · unset to 1912058.0
      Sep 22, 2017 to Mar 26, 2018
    • RAUM · $201M to $236M
      Sep 22, 2017 to Mar 26, 2018
    • Wrap assets (manager) · unset to 0.0
      Sep 22, 2017 to Mar 26, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Sep 22, 2017 to Mar 26, 2018
    • Accounts · 854 to 440
      Mar 2, 2016 to Mar 31, 2017
    • Advisory employees · 8 to 10
      Mar 2, 2016 to Mar 31, 2017
    • Advisory activities · 2 to 4
      Mar 2, 2016 to Mar 31, 2017
    • Employees · 11 to 10
      Mar 2, 2016 to Mar 31, 2017
    • Insurance-licensed employees · 2 to 0
      Mar 2, 2016 to Mar 31, 2017
    • Financial planning clients · 11-25 to 26-50
      Mar 2, 2016 to Mar 31, 2017
    • State-registered IARs · 11 to 10
      Mar 2, 2016 to Mar 31, 2017
    • Discretionary RAUM · $166M to $201M
      Mar 2, 2016 to Mar 31, 2017
    • RAUM · $166M to $201M
      Mar 2, 2016 to Mar 31, 2017
    Signals
    1 dated events
    • W•• W••••• A••••••• reported 0 offices beyond its principal office, down from 6 (2019-01-15 to 2019-04-08)
      Apr 8, 2019 · Office count change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026